GS
George D. Smith
VANTAGE FINANCIAL GROUP
CLEVELAND, OH 44131
Some features on this profile are disabled
CRD#: 2427767
GS
Professional summary
George Daniel Smith III is a registered financial advisor currently at VANTAGE FINANCIAL GROUP, INC. located in Cleveland, Ohio and CETERA WEALTH SERVICES, LLC located in Cleveland, Ohio.
George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. George has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) INDEPENDENT INSURANCE AGENT SELLING DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LTC THROUGH VANTAGE FINANCIAL GROUP 2HRS/WK DURING SECURITIES TRADING HOURS & 2HRS/WKND & EVENINGS SINCE 1/1994 2) NAME OF OTHER BUSINESS: VANTAGE FINANCIAL GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED ADDRESS, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 6/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR, BRIEF DESCRIPTION OF DUTIES: PART OWNER 3) NAME OF OTHER BUSINESS: VANTAGE FINANCIAL GROUP, INC. - CRD# 105950 INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 05/2021 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND ASSET MANAGEMENT 4) NAME OF OTHER BUSINESS: ST JOSEPH PARISH FINANCE COUNCIL; INVESTMENT RELATED: NO; ADDRESS: 12700 PEARL RD STRONGSVILLE, OH 44136; NATURE OF BUSINESS: NON PROFIT; START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: FINANCE COUNCIL MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OVERSEE BUDGET, RECOMMEND APPROVAL, REVIEW PARISH FINANCES, CASH MANAGEMENT; INSPECT PARISH PROPERTY, ASSIST WITH MAINTENANCE, ADVISE PASTOR; 5) NAME OF OTHER BUSINESS: YOUTH OPPORTUNITIES UNLIMITED; INVESTMENT RELATED: NO; ADDRESS: 1228 EUCLID AVENUE, STE 200, CLEVELAND, OH, 44115; NATURE OF BUSINESS: BOARD; START DATE: 5/2019; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: WORK WITH OTHER BOARD MEMBERS TO CREATE AND IMPLEMENT THE ORGANIZATIONS STRATEGIC PLAN, IDENTIFY EMPLOYERS TO WORK WITH INNER CITY YOUTH FOR JOB OPPORTUNITIES, INTERVIEW AND SELECT NEW BOARD MEMBERS, WORK WITH THE GOVERNANCE COMMITTEE TO EVALUATE FELLOW BOARD MEMBERS, ADVISE, CONSULT AND CONSENT ON MATTERS RELATING TO THE OVERALL HEALTH, DIRECTION AND FUTURE OF THE ORGANIZATION;
CRS (Client Relationship Summary) - RIA
Click below to view George Daniel Smith III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 25, 2000 - Present
VANTAGE FINANCIAL GROUP, INC.
Office #1: 6200 Rockside Road #100, Cleveland, OH 44131RIA
CRD#: 105950
CLEVELAND, OH
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 6200 Rockside Rd, Cleveland, OH 44131BD
CRD#: 13572
Cleveland, OH
Past
December 10, 1993 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
CLEVELAND, OH
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VF
VANTAGE FINANCIAL GROUP, INC.
VANTAGE FINANCIAL GROUP, INC.
CRD#: 105950 / SEC#: 801-33485
RIA
Registered Investment Advisory firm - (12/16/1988 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/3/2013)
RR
Arizona(1/5/2021)
RR
California(9/3/2013)
RR
Colorado(9/3/2013)
RR
District of Columbia(2/29/2024)
RR
Florida(9/3/2013)
RR
Georgia(2/29/2024)
RR
Illinois(9/3/2013)
RR
Indiana(9/3/2013)
RR
Maryland(9/18/2015)
RR
Massachusetts(9/3/2013)
RR
Michigan(9/3/2013)
RR
Missouri(1/18/2019)
RR
New Jersey(9/3/2013)
RR
New York(9/3/2013)
RR
North Carolina(9/3/2013)
IAR
Ohio(8/25/2000)
RR
Ohio(9/3/2013)
RR
Pennsylvania(9/3/2013)
RR
Rhode Island(2/29/2024)
RR
South Carolina(1/28/2015)
RR
Texas(9/3/2013)
IAR
Texas(4/19/2021)
RR
Virginia(9/3/2013)
RR
Wisconsin(11/28/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VF
VANTAGE FINANCIAL GROUP, INC.
VANTAGE FINANCIAL GROUP, INC.
CRD#: 105950 / SEC#: 801-33485
RIA
Registered Investment Advisory firm - (12/16/1988 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6200 Rockside Road, Cleveland, OH 44131
Mailing Address
Phone number
(216) 642-7878
Established
Firm type
Fiscal year end
# of Employees
61
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,546 |
| AUM (Assets Under Management) | $ 793,502,265 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
